机构客户尽调专员
HefeiFull-timeFinance / Investment - Compliance audit
Responsibilities
1、负责海外机构客户及交易对手的Customer Due Diligence（CDD）及Counterparty Due Diligence（CPDD）工作，包括开户审核、账户维护及现有海外客户的定期KYC/Ongoing CDD审查；2、执行海外反洗钱（AML）相关审查、调查及监控工作，并支持其他临时合规项目；3、协助更新并完善开户及尽职调查相关流程手册，确保KYC/CDD流程符合适用海外监管要求及公司内部政策；4、整理和分析海外开户审核各相关环节的客户数据，协助产研优化前后端系统流程；5、收集待开户海外客户名单，并跟进转化补充资料完成账户开通。Responsibilities1. Conduct Customer Due Diligence (CDD) and Counterparty Due Diligence (CPDD) for overseas institutional clients and counterparties, including account opening, account maintenance and periodic KYC/Ongoing CDD reviews for existing overseas clients;2. Perform overseas AML-related reviews, investigations and monitoring activities, and support other ad-hoc compliance projects as required;3. Assist in updating and enhancing account opening and due diligence procedural manuals, ensuring KYC/CDD processes are in compliance with overseas applicable regulatory requirements and internal policies;4. Sort and analyze the data of overseas account opening process, and assist product R&D departments to optimize front-end and back-end system performances;5. Collect the pending list of overseas clients and follow up with clients to complete the information supplement for new account opening.
Qualifications
1、大学本科学历，金融机构、证券公司、银行、基金管理公司合规、KYC、AML、法务、会计相关经验者优先；2、熟悉KYC文件和AML监管准则，有海外机构客户尽调经验；3、良好的中英文书面表达能力，能够熟练处理英文合规文件及与相关业务团队进行沟通；4、细致严谨，具备较强的文件审核、风险分析及问题识别能力，能够独立处理复杂机构客户及尽职调查事项。Requirements1. Bachelor’s degree or above. Candidates with experience in compliance, KYC, AML, legal, accounting with financial institutions, securities firms, banks, or asset/fund management companies are preferred;2. Familiar with KYC documentation requirements and AML regulatory standards, with experience in due diligence on overseas institutional clients preferred;3. Excellent written communication skills in both Chinese and English, with the ability to effectively handle English compliance documents and communicate with relevant business teams.4. Detail-oriented and rigorous, with strong capabilities in document review, risk assessment, and issue identification; able to independently handle complex institutional client due diligence and related matters.
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